Unclaimed
Sherman Yu has been in the financial services industry since December 2005. Currently, Sherman Yu is registered with Two Sigma Execution Services, LLC and Two Sigma Securities, LLC. Sherman Yu has a Series 7, Series 24, Series 63, Series 99 and SIE. Sherman Yu is licensed in New York. Sherman Yu was previously registered with Barclays Capital Inc., Prime Dealer Services Corp. and Morgan Stanley & Co. LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
04/02/2024 - Present
TWO Sigma Execution Services, LLC (NEW YORK NY)
NY
09/01/2011 - 07/17/2017
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
06/08/2007 - 09/21/2011
PRIME DEALER SERVICES CORP. (NEW YORK NY)
NY
12/05/2005 - 09/21/2011
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
06/08/2007 - 03/06/2008
MS SECURITIES SERVICES, INC. (NEW YORK NY)
BC
Issued 02/13/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/05/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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